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regulatory-exams

Regulatory Examinations – Business as Unusual

Some registered candidates enquired whether the regulatory exams (REs) would be affected by the recent increased measures to curb the spread of the Corona virus. Regulatory Examinations will continue within the framework of the regulation as published in the Co-Operative Governance Notice 27 June 2021. Please  refer to Art. 21(1) (c); (2) and (5). Moonstone […]

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Next DOFA deadline looming

30 June 2017 is the so called DOFA date for candidates who are obliged to write and pass the Regulatory Examinations (REs) within the prescribed period. A candidate’s date of first appointment (DOFA) refers to the time a person was first appointed in the industry. This is regarded as the point of departure to determine […]

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RE

Potential June UK Exam Date

30 June 2017 is the so called DOFA date for candidates who are obliged to write and pass the Regulatory Examinations (REs) within the prescribed period. A candidate’s date of first appointment (DOFA) refers to the time a person was first appointed in the industry. This is regarded as the point of departure to determine by when […]

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RE

Legislation Handbook and Preparation Guide for REs

The Legislation Handbook for Level 1 Regulatory Exams provides the legislation specified as relevant to the regulatory exams RE 1 and 5. The Preparation guide includes the qualifying criteria provided by the FSB for these exams. The qualifying criteria are cross-referenced in the Preparation Guide to the relevant sections to be studied in the Legislation Handbook. Shaded […]

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DOFA Deadline Looming

That dreaded date is baring its fangs again. Representatives A representative’s Date of First Appointment (DOFA) determines when he or she has to successfully complete the regulatory exam for representatives RE 5. This means that, if you were appointed between 1 January 2015 and 30 June 2015, you are obliged to pass the RE 5 before 30 June 2017. Past experience shows that […]

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RE

Long-term Validity of RE Results

A reader recently enquired about the validity of the regulatory exams in view of all the pending new legislation. “Will my RE1 and RE5 certificates still be valid when the new Twin Peaks legislation comes into effect?” The new laws will not be implemented overnight. It will be phased in over time. As this happens, […]

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